Welcome to our dedicated page for ArrowMark Financial SEC filings (Ticker: BANX), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
ArrowMark Financial Corp. filings document the governance, capital structure, and public-company obligations of a non-diversified closed-end fund. Proxy materials cover annual meeting matters such as director elections and board oversight, while 8-K reports record material agreements tied to common-share issuance programs, rights offerings, dealer-manager arrangements, distribution agreements, and related offering documents.
The filing record also includes Form N-2 registration references for closed-end fund share offerings and exchange notices concerning listed rights. These disclosures frame the fund’s common shares, shareholder voting mechanics, Nasdaq-listed securities, adviser relationships, and capital-raising activity within its income-oriented investment mandate.
ArrowMark Financial Corp. announced significant leadership changes. Patrick Farrell has retired as Chief Financial Officer, and the company has appointed Katherine (Katie) Jones, 41, as the new Chief Financial Officer, effective June 30, 2026. Jones has been a key member of the ArrowMark team since it assumed management of the fund in 2019 and has played an important role in fund operations over the past seven years.
The company also disclosed that Dana Staggs has resigned as President, effective June 30, 2026. ArrowMark highlighted Farrell’s and Staggs’s long-standing contributions and noted that Jones is not expected to receive any direct compensation from the company for her CFO role. A press release detailing these executive officer changes was issued the same day and attached as an exhibit.
ArrowMark Financial Corp. is asking stockholders to elect two Class I directors, Karen L. Reidy and Emil W. Henry, Jr., at its 2026 Annual Meeting. The virtual-only meeting will be held on June 15, 2026 at 2:00 p.m. Eastern Time, with an April 22, 2026 record date.
The board is classified into three groups with three‑year terms, and directors are chosen by plurality of votes cast. Independent directors currently hold two of four board seats and serve on key committees, including the Audit and Nominating and Governance Committees. Tait, Weller & Baker LLP is the independent auditor, with 2025 audit fees of $45,000 and tax fees of $3,000.
Independent directors received cash retainers in 2025, ranging from $16,250 to $58,750, while interested directors and all officers received no compensation from the company. Directors and executive officers as a group owned about 0.54% of the 9,685,741 common shares outstanding as of the record date.
ArrowMark Colorado Holdings, LLC reports beneficial ownership of 884,834 shares of ArrowMark Financial Corp. common stock, representing 9.14% of the class as of 03/31/2026. The filing lists sole voting and dispositive power over 884,834 shares and is signed by Richard Grove as Chief Compliance Officer on 04/10/2026.
ArrowMark Financial Corp. director Melissa Marano Thompson reported an open-market purchase of the company’s Common Stock. On March 27, 2026, she bought 1,500 shares at $18.765 per share. Following this transaction, she directly owns 1,500 shares of ArrowMark Financial Corp.
BANX submitted a Form N-CEN annual report template for registered investment companies covering the registrant's organizational, governance, and operational disclosures.
The excerpt lists select numeric disclosures: $2,176 in aggregate brokerage commissions and principal transactions with reported values of $5,000,000, $2,000,000, $1,974,210, $15,429,000, and $4,000,000.
ArrowMark Financial Corp. (BANX) filed its Form N-CSR reporting annual results for the year ended December 31, 2025. The Fund generated a +12.54% net total return for the year and a 15.93% market‑price total return including reinvested distributions. Net asset value rose to $21.96 per share from $21.78, and NAV‑based total return was 12.39%. Total assets were $203.7M with investments of $196.4M, of which ~85.7% (by investments) were regulatory capital relief securities. Net investment income was $16.3M or $2.29 per share; net realized and unrealized gains were $1.55M. The Fund declared total distributions of $2.40 per share in 2025 and completed a registered direct offering raising proceeds of $15.0M.
ArrowMark Financial Corp. submitted a Form 25 notification reflecting the removal of a class of its securities from listing and/or registration on the Nasdaq Stock Market LLC. The filing states the Exchange and the Issuer complied with the procedures in 17 CFR 240.12d2-2. The form is signed on behalf of Nasdaq by Tara Petta, AVP, and bears an expiration date line of March 31, 2018.
ArrowMark Financial Corp. is conducting a rights offering that allows existing shareholders to subscribe for up to 2,604,156 new common shares. Holders of record on January 22, 2026 receive one transferable Right for each share owned, and every three Rights permit the purchase of one new common share.
Shareholders who fully exercise their Rights may request additional shares through an oversubscription privilege, and those owning fewer than three shares can still buy one full share. The company engaged UBS Securities LLC as dealer manager, Equiniti Trust Company, LLC as subscription agent, and EQ Fund Solutions, LLC as information agent to administer the offer under its effective shelf registration.
ArrowMark Financial Corp. is conducting a transferable rights offering for up to 2,604,156 new common shares of BANX. Shareholders of record at 5:00 p.m. Eastern on January 22, 2026 receive one Right for each existing share and can buy one new share for every three Rights (a 1‑for‑3 offer), with an over‑subscription privilege for those who fully exercise.
The Subscription Price will be set at 92.5% of the average market price over the Expiration Date plus the prior four trading days, but not below 90% of NAV. Based on an estimated price of $19.93, the Fund projects gross proceeds of about $51.9 million and net proceeds of roughly $49.3 million after a $0.75 per‑share (3.75%) sales load and other offering costs.
The Fund plans to invest proceeds in its banking‑related strategy, including regulatory capital relief securities, and may temporarily pay down its credit facility. If fully subscribed at the estimated price, management estimates NAV per share would decline by about $0.76, or 3.5%, and non‑participating holders would experience ownership dilution, though Rights will trade on NASDAQ under “BANXR”, allowing holders to sell them.
ArrowMark Colorado Holdings, LLC filed a Schedule 13G reporting a significant ownership position in ArrowMark Financial Corp. common stock. As of 12/31/2025, the firm beneficially owned 808,076 shares, representing 10.35% of the outstanding common stock.
The reporting person, classified as an investment adviser, has sole voting and sole dispositive power over all 808,076 shares, with no shared voting or dispositive power. The filer certifies that the shares were acquired and are held in the ordinary course of business and not for the purpose of changing or influencing control of ArrowMark Financial Corp.